Transcript Feinberg School of Medicine - MASTER

Northwestern University Feinberg School of Medicine
Everything You’ve Always Wanted to
Know About Effort Reporting (And A
Little More)
Michelle Melin-Rogovin, MA
Manager of Research Administration
Research Administration Services
FSM Dean’s Office for Research
September 2012
What is Effort?
Effort is work performed on a
project, whether the sponsor
pays salary expense
associated with that work,
or not.
So - when does effort begin?
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What is cost-sharing?
Cost sharing is when the dollars associated with work on a
sponsored project are not borne by the project.
-Cost sharing may be required (or not)
-Cost sharing is subject to the same policies as the primary
award, whether it is required or voluntary.
• Cost-sharing is rarely mandatory on a sponsored project (except when a faculty
member has salary that is over the NIH cap).
• Voluntary cost-share is created when a faculty or staff member certifies their effort over
the stated commitment to the sponsor. The department they work for may be required
to pay for the difference.
• If there is ongoing change in effort – rebudgeting the project to cover the salary may be
an option, if the effort change is identified early.
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What Is Effort Reporting?
A process to record that we are meeting our effort
commitments on sponsored projects and that salary
charged to sponsors matches certified effort.
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary = Effort
Commitment = Certified Effort = Salary
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Position Appointment
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary =
Effort
The first step toward compliant effort reporting is to establish
correct position appointments.
• Occurs when faculty and staff are hired, and when there are changes in
the understanding of their work (a promotion, an increase or decrease
in their FTE status, or in the type of work they perform).
RESPONSIBILITY: Department Chair and Department Administrator
with input from Research Administration
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What is 100%?
What comprises a faculty member’s Northwestern
effort.
• Faculty and staff employed by Northwestern University who have
responsibilities for research, teaching and administration at NU.
• Includes NMFF members with clinical commitments.
One
Hundred
Percent
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100%
Fifty
Percent
100%
Effort Commitments
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary =
Effort
The second step to ensuring compliant effort reporting is to
correctly manage effort commitments made on a faculty
member’s appointment.
• When proposing a new effort commitment, the nature of the faculty
member’s position and available effort must be considered before
submitting a proposal (or planning to work more clinic hours or teach).
• Must be verified and reconciled on a regular basis; with adjustments in
the appointment and position funding made to reflect the current effort
as indicated.
RESPONSIBILITY: Department Administrator and Research Administrator
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Planned Salary Distribution
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary =
Effort
The third step to ensuring compliant effort reporting is to
align the planned salary distribution for a faculty member
with their effort commitments.
• Pivotal role in the process – needs to be maintained on a regular
basis in order to maintain compliance
• Planned salary distribution is established at the time of the award or
based on other commitments, and then evaluated quarterly based on
effort reporting.
• Journals are completed to align salary to effort based on certification.
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Salary Distribution, cont’d.
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary =
Effort
• Expectation is that the planned effort should change based on the fact
that the investigator or staff member is working; experience in the field
is different than the proposal or plan. This is expected.
• Clinical trial management will be different than grants management,
but in general, encumbered salaries on sponsored projects are
preferable. (Adjusting salary within 90 days to move salary off a
sponsored project is acceptable.)
A recharge mechanism for salary is recommended to avoid cost transfers when there
are CTs occurring between sponsored projects on a semi-regular basis.
RESPONSIBILITY: Financial Administrator and Research Administrator
with consultation from Department Administrator as indicated.
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Certified Effort
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary =
Effort
The fourth step to ensure compliant effort reporting is to have
faculty and staff certify their effort.
• You can provide information and guidance to faculty when they certify, but
you cannot tell them how to certify. This is helpful, as faculty have many
questions and need reminders about their commitments.
• Faculty can certify higher or lower, only they know what they have truly
worked. (Faculty can certify for certain staff working on their projects.)
RESPONSIBILITY: Research Administrator with support from Department
Administrator
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Salary and Effort Alignment
Appointment
Effort
Commitment
Planned
Salary
Distribution
Certified
Effort
Salary =
Effort
The final step to ensuring compliant effort reporting is to
reconcile the certified effort report with the encumbered salary.
• The research administrator receives a post-review notification and is able
to work with the financial administrator to produce a journal that aligns
salary and effort, given the faculty members’ position, the rules of the
award and other policies.
• Timely effort reporting and regular review of the project and budget allows
us to ensure that the management of salary and effort remains compliant.
RESPONSIBILITY: Research Administrator and Financial Administrator
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Tools to Manage Salary
and Effort
TOOLS TO
USE
Appointment Commitment
Salary
Distribution
Certification
Alignment
Hire letter
X
X
Appt& Pos.
Forms
X
X
X
X
X
X
X
Quarterly
Effort
Certification
X
X
X
Info Ed
X
X
X
Sal. Dist. Tool
NUFin Jrnl
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X
How to assist faculty and
staff members with
certification
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Certifying Effort
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Enter the effort
under Certified
Effort %. The total
should net to 100%.
Certifying Effort
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Certification
How to think about your effort.
1. What was my planned effort for this project?
2. Was my activity for this project (during this quarter) higher or lower? By
how much?
3. Enter in your effort for that quarter.
4. Repeat for all sponsored projects on your effort report.
5. Review your planned effort for non-sponsored (university activity) using
the same questions.
a)
Your teaching or administrative activities may be combined on the same accounts.
b)
Refer to the time period covered by the effort report to recall any particular courses or
responsibilities.
c)
Enter in your effort for that quarter.
d)
Distribute the percentage effort for non-sponsored activities in the categories listed on
page 2. (This should not = 100).
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Clinical Trials
Depending on the volume of your clinical trial
activities, you have two places you can certify:
1.
On page 1 under the trial itself, if your effort exceeds 1% for that
quarter, for that trial.
2.
On page 2 in the clinical trials box if your combined clinical trials
effort for all trials is measurable.
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Common Mistakes
Just the facts about effort certification.
• Effort drives payroll on sponsored projects.
- In order to accurately certify your effort you must base your certification on a reasonable
estimation of your activity on a sponsored project – not how much you’ve been paid to
work on it.
• An average work week includes activities that are not allowable on
sponsored projects – writing proposals, department meetings, writing email.
- Unless you are a graduate student, it is very difficult to justify certifying 100% on
sponsored projects.
• Effort is not based on a 40 hour work week – it’s not based on hours.
- Think in terms of how you spend ½ a day.
• Effort includes all your activities at NU/NMFF, not just research.
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Questions?
Resources for your salary and effort management
questions:
Research Administration Services:
Michelle Melin-Rogovin 312-503-2856
[email protected]
Catie Hor 312-503-4151
[email protected]
Effort Reporting Team:
Erin Farlow 312-503-0323
[email protected]
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